Global Regulatory Outlook for Cybersecurity
Join our experts for a global update on key cybersecurity regulations, including SEC’s Regulation S-P amendments, EU’s DORA, AI Act, and more.
Webcast
Compliance Insights and Alerts
Compliance teams are constantly challenged to keep pace with ever-evolving regulatory compliance news and change while navigating the pressures of geopolitical threats, economic crises, and third-party risks. Uncertain times require a nimble approach to achieve compliance and address business priorities in new ways to enable innovation and growth while minimizing risk.
As the global regulation continues to change, it's key that you keep up to speed with latest developments. Here we capture the latest regulatory compliance trends, industry insights, risk alerts, and events.
Latest insights and alerts
Q1 2021 Regulatory Reporting Deadlines
Investment advisers must meet various regulatory filings requirements throughout the year. We summarized the regulatory filing submission deadlines for the first quarter of 2021.
Compliance Alert
- Compliance
Short-Selling: Potential Dual-Reporting Requirement for Dual-Listed UK/EU Shares
From the end of the Brexit transition period on 1 January 2021, the UK became a ‘third country’ when reporting to EU regulators under the EU Short Selling Regulation. Following updates from ESMA, firms may now be subject to a dual-reporting requirement.
Compliance Alert
- Compliance
UK Announces Amendment to its Short Selling Reporting Regime
Following HM Treasury & ESMA announcements, the FCA has provided an update on the notification and reporting of short sales under its newly onshored regime. We examine the revised UK regime and explore if this is an early taste of post-Brexit accommodation.
Compliance Alert
- Compliance
Essential Guide to AIFMD Marketing After Brexit
Following the end of the Brexit transition period, AIFMs wishing to market their funds should re-evaluate the AIFMD marketing notification requirements.
Article
- Compliance
Registered Investment Company 2020 Regulatory Recap
During the course of 2020, the SEC was active in proposing and adopting new rules. Beyond rulemaking, the SEC also issued exemptive orders and no-action letters of note, including actions related to COVID-19. Here, we highlight some of the SEC’s 2020 regulatory activities for registered investment companies.
Compliance Alert
- Compliance
Operating in the UK Post-Brexit - A Guide for EEA Firms
The Brexit transition means in excess of 1,500 global firms need to adapt their business models and regulatory registration arrangements to continue operating within the UK. We outline details of the UK transitional regimes, the FCA’s expectations of international firms operating in the UK and the FCA authorisation process.
Article
- Compliance
- Brexit
Events
2025 ACA Conference
Join us in sunny Orlando, Florida for ACA's 2025 Conference, "Preparing Today, Protecting Tomorrow," where industry leaders and experts will converge to explore the evolving landscape of financial services.
Conference